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RW

Randolph D. Weatherton

CAMBRIDGE INVESTMENT RESEARCH
Phoenix, AZ 85053
Some features on this profile are disabled
CRD#: 2765602
RW

Professional summary

Randolph Depray Weatherton II, who also goes by Randy D Weatherton II, Randy Weatherton, Randolph Depray Weatherton Ii, is a registered financial professional currently at CAMBRIDGE INVESTMENT RESEARCH, INC. located in Phoenix, Arizona.

Randolph is registered as a RR (Registered Representative) and started their career in finance in 1999. Randolph has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24, Series 26 and Series 51 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Randy D Weatherton Ii | Randy Weatherton | Randolph Depray Weatherton Ii

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Randolph Depray Weatherton II's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

October 1, 2014 - Present

CAMBRIDGE INVESTMENT RESEARCH, INC.

Office #1: 3710 W Greenway Ave. Ste. 114, Phoenix, AZ 85053
BD
CRD#: 39543
Phoenix, AZ
Past

September 5, 2007 - October 8, 2014

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
LAS VEGAS, NV
Past

September 24, 2003 - August 24, 2007

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
PHOENIX, AZ
Past

April 19, 2002 - August 7, 2003

BANC ONE SECURITIES CORPORATION

RIA
CRD#: 16999
PHOENIX, AZ
Past

April 20, 2001 - August 7, 2003

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL
Past

March 15, 1999 - April 11, 2001

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
DES MOINES, IA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(10/1/2014)
RR
Florida
(5/12/2021)
RR
Hawaii
(5/1/2019)
RR
New Mexico
(6/30/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/6/2002
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/27/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/27/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/13/1999
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/8/2004
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 6/25/2004
Investment Company Products/Variable Contracts Principal Examination
Principal/Supervisory Exam
RR
Series 51
Date: 5/28/2004
Municipal Fund Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CI
CAMBRIDGE INVESTMENT RESEARCH, INC.
CAMBRIDGE | JORDAN CREEK FINANCIAL SERVICES | FAIRFIELD GLOBAL INVESTMENTS, INC. | CANTELLA & CO., INC. | CAMBRIDGE INVESTMENT RESERARCH, INC. | CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543 / SEC#: , 8-48740

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Phone number
(641) 472-5100
Established
Iowa since 10/12/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CAMBRIDGE INVESTMENT GROUP, INC.SHAREHOLDER/HOLDING COMPANY
BELL, COLLEEN MCGUIREPRESIDENT INNOVATION AND EXPERIENCE; DIRECTOR5077188
BOEN, RYANEVP, CHIEF FINANCIAL OFFICER/FINOP, PRINCIPAL OPERATIONS OFFICER7842316
KUHLMAN, RICHARD HENRYSVP, CHIEF LEGAL OFFICER7076563
MILLER, SETH AARONPRESIDENT ADVOCACY & ADMINISTRATION; GENERAL COUNSEL; DIRECTOR5495508
ROBBINS, TAMMY ANNEXECUTIVE VICE PRESIDENT/CHIEF BUSINESS DEVELOPMENT OFFICER3125668
ROLLINS, EDDIE THOMASEXECUTIVE VICE PRESIDENT, MANAGING DIRECTOR - BRIDGEPORT1523500
SHAFER, ANDREA LYNNEVP, CHIEF SUPERVISION OFFICER5448499
STONE, CARLA JEANFIRST VICE PRESIDENT, FINANCE/CHIEF ACCOUNTING OFFICER3193985
TURNER, GREGORY WALTEREVP, CONSULTING SERVICES3144311
VEST, VALARIE KNOBLOCKEVP, CHIEF EXPERIENCE OFFICER3074142
VIVACQUA, JEFFREY FRANCISPRESIDENT GROWTH AND DEVELOPMENT; DIRECTOR2608892
WEBBER, AMY LYNNCEO, SECRETARY; DIRECTOR1812670
YOUHN, STEPHEN MICHAELCHIEF COMPLIANCE OFFICER1414691

Disclosures

Regulatory Event13
Arbitration4

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543Phoenix, AZ 85053

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